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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-19 |
| CT | RA | APPROVED | 2006-12-08 |
| TX | RA | APPROVED_RES | 2006-09-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 03/2006 | Present |
| Bank Of America, Na | New York | NY | 12/2009 | Present |
I*368513, Name of OBA:State University of New York at Buffalo Address:Amherst, New York 14260, NY Investment Related: No Position, Title, Association: Other Employee Start Date:8/24/2020 No Hours: 12 Monthly No Hours during trading: 0 Duties: Teaching Financial Economics, text Investments
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-03-14 |
| S63 | Uniform Securities Agent State Law Examination | 1984-02-08 |
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